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Description

The nature and extent of ethics-oriented federal regulation of the securities industry is in the process of profound change. This course is an overview of the most significant regulatory developments from 2003 to date. We begin with three far-reaching pronouncements of the Securities and Exchange Commission (SEC), involving self-regulatory organizations (SROs) and registered adviser ethics. That material is examined most thoroughly, since it offers direct insight into the securities regulator's mindset. (SROs include the national securities exchanges and registered securities associations.)

Topics Covered

This course covers the following topics: Lesson 1: Due Diligence Lesson 2: Valuation Concepts and Standards

Prerequisites

n/a

End of Course Instructions

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Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.

Exams

You will be required to pass the final exam with a 70% in order to receive course credit.